Services Associate, Risk & Compliance (Tracking & Trading/Broker Data Import Program)

About the role

We are seeking a Services Associate to monitor brokerage account compliance for approximately 75,000 professionals and manage the daily import of 20+ broker dealer files into Deloitte's Independence monitoring system, the Tracking & Trading System. The ideal candidate will be a strong problem solver with a solid working knowledge of financial instruments and markets, a background or interest in compliance, and a commitment to exceptional quality and superior customer service.

Responsibilities

• Work closely with outside brokerage firms and Deloitte professionals to support brokerage account compliance activities
• Gain a robust knowledge of Deloitte policies to provide guidance to professionals, resolve customer inquiries, evaluate risk, and determine the permissibility of financial relationships
• Assist partners and employees in understanding compliance requirements for personal financial relationships, with a focus on brokerage accounts
• Research financial products and support decisions on how those products should be monitored within the Tracking & Trading System
• Support accurate reporting of financial relationships in internal systems and provide guidance on brokerage account transfers

Skills

• Ability to work independently and collaborate as part of a team
• Effective written and verbal communication skills
• Meticulous attention to detail and quality of work product
• Ability to build and sustain professional relationships
• Ability to lead projects or workstreams
• Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
• Strong interpersonal skills and professional demeanor
• Ability to meet deadlines
• Ability to provide clear guidance to others

About the team

The Independence & Conflicts Network (ICN) team performs a critical consultative, quality-assurance, and risk management function for the Deloitte US Firms. The team helps the organization remain unbiased and free from conflicts-of-interest when providing service to attest/audit clients. This role offers a dynamic work environment driven by evolving financial instruments and regulatory changes. The analyst will work with other departments within ICN, end users (Deloitte professionals with independence requirements), and numerous outside brokerage firms participating in the import program.

Qualifications

Required:

• Bachelor's degree
• 1+ years of experience in a large corporate environment or professional services firm
• Experience using Microsoft Excel, Microsoft PowerPoint, and Microsoft Word
• Ability to travel 0-10%, on average, based on the work you do
• Limited immigration sponsorship may be available

Preferred:

• Experience working with securities and financial relationships, including stocks, bonds, mutual funds, and exchange-traded funds
• Knowledge of independence requirements for professional auditing firms
• Prior experience working at a broker dealer or in a compliance role
• In-depth knowledge of financial products and brokerage relationships
• Familiarity with broker data feeds

Pay

The wage range for this role is $51,900 to $95,500, taking into account factors such as skill sets, experience, training, and other business and organizational needs. At Deloitte, it is not typical for an individual to be hired at or near the top of the range, and compensation decisions depend on the facts and circumstances of each case.